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Who we are

As a full service brokerage firm launched in 1979, Cathay DuPont was founded with the vision of providing complete financial planning and highly personalized investment management services and inception-to-closing managing broker dealer services.

With more than thirty-five years experience in the financial services sector, twenty of those dealing with expatriate’s and high net worth individuals in the offshore arena, we decided to make our services available to a wider audience by establishing this web site in late 2004 and renewed in 2016 to serve you with high technology demands of today.

We pride ourselves on the level of personalized service we provide and on the depth of research and diligence that drives our recommendations. From business banking to personal investing, our highly qualified and experienced advisors are here to help.

The principle is to provide a single source of information to experienced or ‘well-informed’ investors who do not seek personal financial planning advice so that they have easier access to information from a variety of fund management groups, both traditional and alternative, as well as the products and services of financial institutions, offshore life insurance companies, trust companies and pestinent global financial news.

For us, the benefit is that we no longer have to travel extensively and spend time in airports and hotels while waiting for meetings with clients and potential clients alike. With the technology available to us today, we have found that many people are quite happy with e-mail and telephone support of their portfolios and investments.

As a trade off for not being able to meet personally with you, we offer most of these funds and services at a discount by rebating commissions to reduce the charges of the management groups where the group allows us to do that.

Many people prefer to meet with an advisor to build a bond and rapport but equally, many people do not.

We understand that nothing takes the place of a Cathay DuPont’s ability to deliver tangible results. That is why each of our clients works directly with an investment professional who draws on the Cathay DuPont’s broad resources to tailor a specific products and services to fit their needs.

Travelling around the world to meet clients is an expensive business. We believe that for those clients who can accept it, and for those that prefer an execution-only style of investing, we remove the product bias created by variable commission rates and volume over-rides that may be associated with full service providers by creating a truly level playing field.

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Our vision is to provide a superior broker-dealer and investment advisory platform for financial advisors that serve the wealth management and capital advisory needs of entrepreneurial minded clients.


We place our core values at the center of everything we do. It reflects an understanding that Cathay DuPont operates within a service industry where trust and responsibility bring about every business transaction.

Cathay DuPont acknowledges the important role we play in the lives of all our stakeholders. Beginning with the investor, and expanding out to our social responsibility, Cathay DuPont’s core values account for how we will conduct ourselves in all our affairs.

What Makes Us Different?

Investing for Your Individual Needs

You need a financial plan that is as unique as you are.

Your dreams and goals are unique to your life experiences. For some, it’s about an early retirement that allows more time with family and friends, yet others long to travel the world or begin a second career. At Cathay DuPont, we understand that you have a clear picture of your destination and we have the skills and resources to map out a successful journey.

Your individualized plan is custom designed by your Cathay DuPont advisor and tailored to reach your specific goals. We put your plan into action and constantly review, refine and regroup, as your needs and the financial climate changes and evolves.

The future is uncertain, but Cathay DuPont offers the expertise, knowledge and forward thinking philosophy to make your dreams a reality and to guide you to financial success.

Our Team

We have built an exceptional team of nearly 100 investment professionals with a commitment to providing our clients with highly focused, personalized attention. Among our ranks are recognized leaders in the areas of brokerage and investment advisory services, and innovators in the areas of private placements, alternative investments and managing broker dealer services. But each of us is dedicated to remaining nimble and responsive to your needs, while always focusing on performance. With offices globally, we welcome an opportunity to talk to you.

We are guided by the following principles in our two primary market areas:

  • First, we aim to design and provide the very best platform, products and capital resources for our brokers and representatives to expertly, efficiently and ethically serve the wealth generation and preservation needs of their clients.
  • Second, we provide a customized platform of resources to capital specialists that consult with entrepreneurial minded companies and their owners seeking guidance in capital structure and capital sourcing to meet their goals.

  • Anthony Rathbone


    Has 22 years experience with expertise in structuring asset-backed securitizations for specialty finance companies and asset managers, having worked on both the issuer and investment banking side of transactions totaling over $5 billion.

    Mr. Rathbone possesses a hands-on approach to the business and is adept in all aspects of transactions, including client marketing, due diligence, collateral and bond analytics, rating agency and investor presentations, and negotiating terms and legal documents. Earned a BBA degree with a major in Finance from Texas Christian University in 1994 and currently holds Series 7, 63, 79, and 24 NASD Licenses.

    Frank Wainwright

    Chief Executive Officer

    As a portfolio manager worked as an analyst at two hedge funds. Began investing in middle school. He has focused on small-cap companies since he began his career.

    Steven Wilkinson

    Chief Compliance Officer

    Mr. Wilkinson brings over 30 years of experience in the tax and accounting field and over 20 years in the investment and planning field. In 1985 received his B.A. in Accounting. He holds both the CPA (Certified Public Accountant) and CFP (Certified Financial Planner) designations.

    Nigel Braithwaite

    Investment Banking - Managing Director

    Began his investment career in 1996 with Smith Barney in Boston. He has since worked on the equity sales and trading desks. Nigel has worked with some of the most esteemed long-only and hedge fund professionals in the United States and Europe. Leading the institutional sales effort for the firm.

    George Dempsey

    Regional Director - Wealth Management

    George is the primary advocate on the management team for the financial advisors. As Chief Sales Officer his focus is to help formulate individual business plans and initiatives with advisors based on their own personal business approach and goals. positions himself as a coach, supporting our core value of inspiring our advisors to be their best selves, every day.

    As a Certified Financial Planner practice includes retirement planning, investment and risk management strategies, wealth transfer and college savings. Each relationship begins with a comprehensive fact-finding process which leads to a goal-oriented personal plan between him and his clients.

    While always focusing on the big picture, this plan is reviewed, monitored and adapted as life’s circumstances change and evolve. Began his career in 1999 at Morgan Stanley and earned his Certified Financial Planner designation in 2007. He holds a B.S. Degree in Psychology from Miami University.

    Neil Wallace

    Senior Vice President - Research

    Started his career in investments in 1962. He graduated from the University of Pennsylvania in 1958 with a B.S. in Economics from the Wharton School. In 1965, he launched his institutional sales and research business. He has focused his research on global logistics companies and his sales on logistics stock investments to institutional investors.

  • Alistair McCormack

    Vice President

    Investment management career began 24 years ago as an institutional research analyst. developed the fundamental criteria he would use to create a research team focused on discovering companies overlooked by the Wall Street analyst community.

    In 1994, directed the institutional research effort until 2000. He also serves on the Board of Directors and is an active Portfolio Manager. An undergraduate degree from Virginia Tech University with a concentration in Economics and Finance.

    Patrick Bauer

    Chief Operating Officer

    He started in the financial industry as a Credit Analyst for Prudential Insurance. He then entered the securities business as an Investment Banker. He hired and developed a team of research-oriented brokers to provide growth stock ideas, sales expertise and written stock research to both individual and institutional clients.

    With a strong desire to continue providing independent research. Continues to be the Chairman of the Board of the company. Through the years, focus has been on managing portfolios for a broad cross section of individuals. His passion is generating performance for his clients by finding stocks that have the potential to outperform whether in good or bad markets.

    Colin Gibson

    Vice President – Operations

    Formally with BMO Nesbitt Burns, Colin has been involved in the investment and financial industry for over 15 years.

    Colin brings to Cathay DuPont a wealth of experience involving public companies that here financial difficulties or companies that have entered liquidation or bankruptcy. Colin is active in charitable work, is married with two children.

    James Berkeley

    Senior Vice President - Equity Trading

    A graduate of the London School of Economics. James Specializes in merger and acquisitions along with private placements and private equity financing.

    Adam Forester

    Regional Director - Wealth Management

    Principal, analyst, and portfolio manager for the firm. following the capital goods and specialty chemical industries.

    Simon Joyce

    Senior Global Strategist

    A graduate of the London School of Economics. Simon is married with five children and is very active in sports and charitable work. Simon has established a charitable trust to aide children in poverty. Originally Simon worked in compliance with his former employer and later moved to the trading floor.

    Simon joined Cathay Dupont in 2012 and specializes in undervalued companies that offer growth potential for investors. Along with companies that are candidates for acquisition.

Financial Advisors

Compliance Officer

David Knightley -

Client Services Officer

Mark Tennyson -

Senior Portfolio Manager

Sarah Hamilton -
Charles Holt -
Thomas Beck -
Christopher Carrick -
Jeffrey Dawson -
James Spencer -

Senior Portfolio Manager

Steven Castleton -
Jack Hoffman -
Oliver Hartley -
Justin Benfield -
Thomas Bailey -
Rachel Smith -

Senior Portfolio Manager

David Taylor -
James Morton -
Marc Saks -
Mark Edwards -
Luke Eastmond -
Brian James -